RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••• M••••• D•••••
- E••••• J•••• national BD currentsince Mar 8, 2024 · San Luis Obispo, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 12, 2022 to Dec 24, 2023 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedJun 4, 2018 to Nov 12, 2021 · Bakersfield, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Jun 8, 2018 · San Luis Obispo, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jun 8, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 17, 2017 to Feb 26, 2018 · Saint Louis, Mo
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 5, 2015 to Jan 11, 2017 · Glendale, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 3, 2014 to Apr 20, 2015 · San Luis Obispo, Ca
- L•• F•••••••• L•• BD affiliatedFeb 14, 2014 to Jun 4, 2014 · Santa Maria, Ca
- M••••• S•••••• wirehouseJan 1, 2013 to Feb 21, 2014 · San Luis Obispo, Ca
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Dec 24, 2023, registered Mar 8, 2024 (75 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 12, 2021, registered May 12, 2022 (181 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 8, 2018, registered Feb 27, 2018 (-101 days) · corporate re-registration, not a move
- T• A••••••••• I••• to L•• F•••••••• L••left Jun 8, 2018, registered Jun 4, 2018 (-4 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to S•••••••• I••••••••• M•••••••••left Jan 11, 2017, registered Jan 17, 2017 (6 days) · Other
- J••• M••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Apr 20, 2015, registered May 5, 2015 (15 days) · Other
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Jun 4, 2014, registered Jul 3, 2014 (29 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Feb 21, 2014, registered Feb 14, 2014 (-7 days) · Other
- J••• M••••• D••••• left A••••••••• F•••••••• S•••••••• L•• for E••••• J•••• (registered 2024-03-08)Dec 24, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address